James T. Elios

ELIOS FINANCIAL GROUP

Westlake, OH 44145

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CRD#: 2681022

Professional summary

James Thomas Elios, AIF®, who also goes by James T Elios, is a registered financial advisor currently at ELIOS FINANCIAL GROUP, INC. located in Westlake, Ohio and PRIVATE CLIENT SERVICES, LLC located in Westlake, Ohio.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James T Elios

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1) CENTER POINT WEST. 30700 CENTER RIDGE ROAD, WESTLAKE, OH 44145. OWNER/OWNER-OCCUPIED OFFICE BUILDING. PROPERTY MANAGER/RENT EXTRA OFFICE SPACE. 2 HOURS/MO; 0 DURING TRADING HOURS. 2) ELIOS FINANCIAL GROUP, INC. 30700 CENTER RIDGE ROAD, WESTLAKE, OH 44145. RIA, WEALTH ADVISER & INSURANCE SALES. 20 HOURS/MO; 1-2 HOURS/WEEK. 3) ELIOS FINANCIAL GROUP, INC. 30700 CENTER RIDGE ROAD, WESTLAKE, OH 44145. SEC REGISTERED INVESTMENT ADVISOR (RIA) ADVISE CLIENTS ON INVESTMENTS. 160 HOURS/MO; 40 HOURS/WEEK DURING TRADING HOURS. 4) AUTHOR OF SELF-PUBLISHED BOOK ON KINDLE DIRECT, I WROTE AND EDITED THE BOOK FOR PERSONAL USE, 0 HOURS/MO., 0 DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Elios's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

August 20, 2021 - Present

ELIOS FINANCIAL GROUP, INC.

Office #1: 30700 Center Ridge Road Suite A, Westlake, OH 44145

RIA

CRD#: 119873

Westlake, OH

Current

October 4, 2018 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 30700 Center Ridge Road, Westlake, OH 44145

RIA

CRD#: 120222

Westlake, OH

Past

February 2, 2007 - December 31, 2019

ELIOS FINANCIAL GROUP, INC.

RIA

CRD#: 119873

WESTLAKE, OH

Past

October 18, 1999 - October 28, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

WESTLAKE, OH

Past

November 12, 1998 - October 11, 2018

LPL FINANCIAL LLC

CRD#: 6413

WESTLAKE, OH

Past

February 1, 1996 - October 5, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

February 1, 1996 - October 5, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

December 14, 1995 - January 30, 1996

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

PALM BEACH GARDENS, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ELIOS FINANCIAL GROUP, INC.

ELIOS FINANCIAL GROUP, INC. | JAMES T. ELIOS, MBA A REGISTERED INVESTMENT ADVISOR

CRD#: 119873 / SEC#: 801-113807

RIA

Registered Investment Advisory firm - (8/10/2018 Approved)

Ohio

Registered Investment Advisory firm - (10/23/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(1/3/2022)

Louisiana
(5/25/2022)

New Jersey
(7/6/2022)

North Carolina
(1/3/2022)

Ohio
(10/4/2018)

IAR

Ohio
(8/20/2021)

Virginia
(1/3/2022)

West Virginia
(12/27/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 2/21/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/9/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/22/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/20/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ELIOS FINANCIAL GROUP, INC.

ELIOS FINANCIAL GROUP, INC. | JAMES T. ELIOS, MBA A REGISTERED INVESTMENT ADVISOR

CRD#: 119873 / SEC#: 801-113807

RIA

Registered Investment Advisory firm - (8/10/2018 Approved)

Ohio

Registered Investment Advisory firm - (10/23/2018 Terminated)

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Contact information

Main Address

30700 Center Ridge Road Suite A, Westlake, OH 44145

Mailing Address

Phone number

(440) 617-9100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 - WRAP BROCHURE (3/28/2025)

ADV PART 2A - FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	975
AUM (Assets Under Management)	$ 274,976,273

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

James T. Elios

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Elios's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

ELIOS FINANCIAL GROUP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

MONEY CONCEPTS CAPITAL CORP

Primary Firm SEC Registration

ELIOS FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/1996

SIE

Date: 10/1/2018

Series 7

Date: 6/9/1997

Series 6

Date: 11/22/1995

Series 24

Date: 11/20/2000

FINRA

Current Firm

ELIOS FINANCIAL GROUP, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ELIOS FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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